Law Blog Category: Small Cap Market

SEC Amends Definition of “A Smaller Reporting Company”

On June 28, 2018, the SEC adopted the much-anticipated amendments to the definition of a “smaller reporting company” as contained in Securities Act Rule 405, Exchange Act Rule 12b-2 and Item 10(f) of Regulation S-K. The amendments come almost two years to the day since the initial publication of proposed rule changes (see HERE). Among Read the full article…

The Materiality Standard; NYSE Amends Rules; FASB Proposed Guidance

SEC Has Approved A Two-Year Tick Size Pilot Program For Smaller Public Companies

ABA Federal Regulation Of Securities Committee Makes Recommendations On Regulation S-K

SEC Congressional Testimony – Part 3

SEC Proposed Pay Versus Performance

SEC Proposes Broadening Of Broker-Dealer Registration Rules To Include Proprietary And High-Frequency Traders

SEC Advisory Committee On Small And Emerging Companies Explores Venture Exchanges, Private And Secondary Securities Trading and The NASAA Coordinated Review Program- Part I

SEC Congressional Testimony– Part II

April 28, 2015 in SEC, Small Cap Market, Uncategorized

SEC Congressional Testimony- Part I

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